| 12-03847 | 08/21/2013 | Claimant(s): Paul Lin
Claimant Lawyers(s): Paul Lin
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Dan A. Rosenbaum
Arbitrator(s): Frederick N. Bailard
Hearing Site: Los Angeles, CA
|  | $2,105 |
| 12-03613 | 04/11/2013 | Claimant(s): Linda Russell, The Estate of Richard L. Russell
Claimant Lawyers(s): Wendell V. Courtney
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Dan A. Rosenbaum
Arbitrator(s): Jim Geiger
Hearing Site: Baltimore, MD
| | Stipulated Award |
| 12-02740 | 03/04/2013 | Claimant(s): Joe McGlone
Claimant Lawyers(s): Joe McGlone
Respondent(s): Keith Brown, UBS Financial Services Inc.
Respondent Lawyers(s): Dan A. Rosenbaum
Arbitrator(s): Jim Geiger
Hearing Site: Philadelphia, PA
| | $213 |
| 09-02255 | 06/02/2010 | Claimant(s): The Maximillian H. Miltzlaff Rev. Trust
Claimant Lawyers(s): Richard J.J. Scarola
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Dan A. Rosenbaum
Arbitrator(s): Earl S. Schwarz, Evdokia Sofos, Carolyn A. Mann
Hearing Site: New York, NY
| | $60,000 |
| 09-01776 | 04/23/2010 | Claimant(s): Samuel Bleichfeld
Claimant Lawyers(s): Samuel Bleichfeld
Respondent(s): Isaac Simon, UBS Financial Services Inc.
Respondent Lawyers(s): Dan A. Rosenbaum
Arbitrator(s): Martin A. Edelstein
Hearing Site: New York, NY
| | $0 |
| 09-01467 | 03/31/2010 | Claimant(s): Faye Ruback
Claimant Lawyers(s): David A. Weintraub
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Dan A. Rosenbaum
Arbitrator(s): John R. Loss, Jeffrey C. Johnson, Rebecca Sue Abell-Brown
Hearing Site: Omaha, NE
| | $0 |
| 08-03293 | 10/30/2009 | Claimant(s): Gail Pasternack
Claimant Lawyers(s): Adam J. Gana
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Dan A. Rosenbaum
Arbitrator(s): Joseph F. Kelley, Mitchell Jay Bayer, Sam Antar
Hearing Site: New York, NY
| | $67,000 |
| 08-03766 | 10/12/2009 | Claimant(s): Karen Kennedy, Karen Muto Kennedy, Roth IRA, Trustee RMA Acct., Trustee of Mge Acct
Claimant Lawyers(s): Howard B. Prossnitz
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Dan A. Rosenbaum
Arbitrator(s): Lee H. Goodman, Jacqueline Stanley Lustig, Samuel Olutola Akeju
Hearing Site: Chicago, IL
| | $0 |
| 09-02027 | 09/16/2009 | Claimant(s): Mark Kaplan
Claimant Lawyers(s): Felix M. Phillips
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Dan A. Rosenbaum
Arbitrator(s): Mark S. Gleason
Hearing Site: Minneapolis, MN
| | $25,000 |
| 08-01224 | 07/29/2009 | Claimant(s): Victoria Kaufman
Claimant Lawyers(s): Stanislaus S. Mroczkowski
Respondent(s): UBS Financial Services Inc., Scott Rose
Respondent Lawyers(s): Dan A. Rosenbaum
Arbitrator(s): Jeffrey Steinberg, Abraham Harry Bunis, Stephen L. Lister
Hearing Site: New York, NY
| | $0 |
